US REGULATION UPDATE : US 60

EFFECTIVE DATE: 13 March, 2011

SUBJECT: Vessel General Permit (VGP) Enforcement
Total No. of Pages: (29) including this cover page
Source: OBriens Response Management

Vessel General Permit (VGP) Enforcement

Background
The USCG and the Environmental Protection Agency (EPA) recently signed a Memorandum of
Understanding regarding enforcement of the Vessel General Permit. The USCG followed this
with the publication of their Guidelines for Coast Guard Evaluations of Compliance with the
U.S. Environmental Protection Agencys (EPA) Vessel General Permit (VGP) for Discharges
Incidental to The Normal Operation of Vessels (CG-543 Policy Letter 11-01) dated February
11, 2011. This document details the enforcement actions that the USCG will take when
conducting vessel boardings. The implementation date of these enforcement guidelines is
March 13, 2011.

Applicability
The USCG enforcement policy is applicable to all vessels enrolled with the EPA Vessel General
Permit. Note that the Coast Guard will not check vessel compliance with the State and Indian
Country Lands specific requirements contained in Section 6 of the VGP.

Enforcement Date
On March 13, 2011 the USCG will commence enforcement activities.

Boarding Procedures
USCG boarding officers will first establish the applicability of the VGP to the vessel. If the
VGP is applicable the boarding officer will ask a series of questions, request documentation and
inspect the ship. The details are included in a Job Aid provided to boarding officers. In general
the inspector will seek to answer the following questions:
1. Are the officers and crew familiar with the requirements of the VGP?
2. Does the vessel have an NOI?
3. Are there records of the required routine inspections?

4.
5.
6.
7.

Are corrective actions documented?

Does the vessel have a proper ballast water management plan?
Are bilge water discharges properly carried out and recorded?
Do the deck and work areas demonstrate good housekeeping practices?

For Large and Medium Cruise Ships there is one additional question:
1. Is gray water managed and documented?

Enforcement Policy
If VGP deficiencies are noted the boarding officer must take the following actions:
1. Encourage vessel operators to correct VGP deficiencies by the conclusion of the vessel
inspection / PSC exam, if feasible, i.e. corrected on the spot.
2. Inform the vessels master/person-in-charge of all detected deficiencies, including those
corrected on the spot, and record the findings using routine deficiency reporting
documents, such as the CG-835 or PSC Form B, as appropriate.
3. Inform the vessels master/person-in-charge that the Coast Guard will report the VGP
related deficiencies to the EPA, as well as any actions by the vessel taken or planned to
address them, and that EPAs enforcement authority under the CWA to address VGP
violations and unauthorized discharges includes administrative orders, administrative
penalties, and judicial action.

MEMORANDUM OF UNDERSTANDING
BETWEEN THE
U.S. ENVIRONMENTAL PROTECTION AGENCY,
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
AND THE
U.S. COAST GUARD,
OFFICE OF MARINE SAFETY, SECURITY AND STEWARDSHIP
For Collaboration on
Compliance Assistance, Compliance Monitoring, and Enforcement of
Vessel General Permit Requirements on Vessels
I.

PURPOSE/OBJECTIVES/ GOALS

The purpose of this Memorandum of Understanding (MOU) is to establish cooperation and

coordination between the United States Environmental Protection Agency (EPA) and the United
States Coast Guard (USCG) for implementing and enforcing the Vessel General Permit (VGP)
requirements on vessels. EPA issued the VGP on December 18, 2008, 73 FR 79473, December
29, 2008 and February 12, 2009, 74 FR 7042 (for Alaska and Hawaii), pursuant to Clean Water
Act (CWA) authority under the National Pollutant Discharge Elimination System (NPDES)
program. VGP implementation will benefit from collaboration on compliance monitoring and
enforcement of the VGP and compliance assistance efforts for the industry.
This MOU authorizes EPA and the USCG (Agencies) to utilize each others expertise to further
the goals and objectives of the VGP. By leveraging the strengths of the Agencies regarding
technology, science, regulations and policy, compliance and enforcement, and knowledge of
vessels, and by integrating activities, collaborative projects may be initiated which are of mutual
interest.
Sharing of information, expertise, and technical assistance for VGP implementation is intended
to reduce redundancy in government oversight of vessel activities and increase the effectiveness
of each Agency's ability to accomplish its mission. The collaborative efforts initiated pursuant to
this MOU are intended to be mutually beneficial and to enhance environmental protection.
II.

BACKGROUND

The VGP was issued in response to a District Court ruling that vacated, as of February 6, 2009, a
long-standing EPA regulation that excluded discharges incidental to the normal operation of a
vessel from the need to obtain an NPDES permit. As a result, all such discharges are prohibited

unless authorized by an NPDES permit. Section 301 of the CWA prohibits the discharge of any
pollutant from a point source into waters of the United States, including the contiguous zone or
ocean, unless otherwise authorized under the CWA, such as in a permit issued under EPAs
NPDES program. Certain discharges are not subject to the NPDES permit requirement because
they are authorized under other statutory provisions. Sewage from vessels, for example, is
regulated pursuant to a separate program and is not addressed in NPDES permits. However,
unlike the discharge of other pollutants, discharges incidental to the normal operation of a vessel
do not require an NPDES permit when discharged into the waters of the contiguous zone or
ocean.
The VGP applies to specific discharges, which are identified in the VGP, that are incidental to
the normal operation of a vessel and are discharged from non-recreational vessels of 79 feet or
greater in length. In addition, the ballast water discharge provisions apply to any nonrecreational vessel of less than 79 feet or commercial fishing vessel of any size discharging
ballast water. If a vessel is greater than or equal to 300 gross tons or has the capacity to hold or
discharge more than 8 cubic meters (2113 gallons) of ballast water, the owner/operator must
submit a Notice of Intent (NOI) to be covered under the permit in accordance with the
requirements of Part 10 of the VGP.
The VGP incorporates the USCGs mandatory ballast water management and exchange
standards, adds additional ballast water management practices and provides effluent limits for
other types of discharges including, but not limited to, deck runoff, bilge water, gray water, antifouling hull coatings and other discharge types. The VGP also establishes specific corrective
actions, inspection and monitoring requirements, as well as recordkeeping and reporting
requirements.
III.

STATUTORY AUTHORITY

Section 501 of the CWA, 33 U.S.C. 1361, authorizes the Administrator of EPA, with the
consent of the head of any other agency of the United States, to utilize such officers and
employees of such an agency as may be found necessary to assist in carrying out the purpose of
the CWA.
14 U.S.C. 141 authorizes the USCG to utilize its personnel and facilities to assist any federal
agency, such as EPA, to perform any activity for which such personnel and facilities are
especially qualified.
14 U.S.C. 93(a)(20) authorizes the Commandant of the USCG to enter into cooperative
agreements with other Federal agencies.
Section 104 of the CWA, 33 U.S.C. 1254, instructs the Administrator of EPA to, among other
things, cooperate with other Federal, State and local agencies to conduct and promote the
coordination and acceleration of investigations, training, demonstrations, surveys and studies
relating to the causes, effects, extent, prevention, reduction, and elimination of pollution.
EPA issued the VGP pursuant to authority in the CWA section 402, 33 U.S.C. 1342.

Sections 308 and 309 of the CWA, 33 U.S.C. 1318 & 1319, authorize EPA to obtain
information and investigate noncompliance with permits issued pursuant to this authority, to
enforce against violations of such permits and take action to require a violator to return to
compliance.

IV.

ARTICLES OF AGREEMENT

A. Interagency Coordination
The USCG and EPA, respectively, agree to cooperate on requests by the other Agency for
available information, documents or testimony that may be useful in carrying out its
responsibilities regarding vessel discharges under the VGP.
EPA and the USCG agree to communicate regularly to ensure the joint activities are conducted
as expeditiously and as efficiently as possible and to resolve questions or issues in a timely
manner. The Agencies agree that representatives from their respective headquarters offices
should meet at least annually in order to, among other things, confirm effective progress in
implementation of this MOU, resolve any concerns that have arisen since the previous meeting,
and maintain continuity in communications between the Agencies. EPA Regions and USCG
Districts and/or Sectors are also encouraged to meet regularly with their counterparts to
coordinate efforts and share information.
Each Agency will make available to the other current lists of points of contact on the VGP. The
list will include the title, office name, current address and phone number for points of contact at
headquarters offices and in each EPA Region and USCG District. The current list is attached as
Appendix I to this MOU. The Agencies agree to promptly inform each other when changes are
made to the titles, offices, addresses and phone numbers. The Agencies agree to inform each
other of the name of the designated point of contact, to the extent practicable.
EPA is responsible for interpretations of the VGP and the terms of the VGP. EPA intends to
provide guidance and technical information to assist with VGP implementation.
B. Information Sharing and Data Tracking
The USCG and EPA agree to work jointly and cooperatively to develop reporting forms, USCG
job aids, instructions for filling out job aids or other training materials, annual reports on
compliance monitoring and resulting enforcement, and materials for industry including fact
sheets and compliance assistance materials.
EPA and the USCG agree to assist each other with reports on vessel exams, deficiencies found
and yearly numbers of exams, ideas to improve the compliance policy and guidance documents
for vessels, and methods to notify the vessel owners of deficiencies and violations.

The USCG and EPA agree to provide technical expertise and support the exchange of
information that each Agency maintains in data bases, information systems, clearing houses and
other means that are not available to the other Agency, as necessary and appropriate and in
accordance with the Freedom of Information Act (5 U.S.C. 552), the Privacy Act (5 U.S.C.
552a) and each Agencys Public Affairs Office.
EPA and the USCG agree to share information, including any information regarding vessel
owners or operators, any samples and testing results, photographs, and inspection or screening
logs, that may be useful in carrying out their respective responsibilities regarding vessel
discharges under the VGP.
C. Training
EPA and the USCG intend to develop and make available training materials (web based, CDrom, etc.) on the VGP compliance for Agency staff who will be involved in VGP
implementation. The Agencies will also work together to identify available training materials
that may help to ensure the personal safety of EPA inspectors and enforcement officers who may
board vessels to verify compliance with the VGP.
D. Compliance Monitoring
EPA and the USCG agree to work together to develop job aids, Navigation and Vessel
Inspection Circulars, and other documents to assist inspectors with identification of deficiencies
of the VGP requirements.
The USCG agrees to incorporate a component into its existing inspection and Port State Control
exam protocols and procedures that verify vessel compliance with safety, security, and pollution
prevention regulations to assist with the verification of compliance of the VGP for domestic and
foreign vessels. The scope of USCG inspections may be identified in USCG policy and
guidance and associated checklists/job aids. The inspections may include review of inspection
records, visual inspections, evaluation of compliance with effluent limits and taking samples.
The USCG agrees to notify EPA when it identifies deficiencies.
The USCG and EPA agree to explore electronic methods to track deficiencies and share this
information.
EPA and USCG retain the right to conduct compliance and enforcement inspections as each is
authorized by law. EPA and the USCG agree to facilitate joint inspection efforts as appropriate.

E. Addressing Deficiencies and Enforcement

EPA intends to develop, with assistance from the USCG as appropriate, informal enforcement
documents for the VGP, including letters or notices of deficiency or notices of violation. EPA or
the USCG may use these documents to inform a vessel owner/operator of deficiencies of the
VGP and encourage the owner/operator to address the identified problems. The USCG should

also inform the vessel owner/operator that it informs EPA of deficiencies and any actions taken
or planned by the vessel operator to correct those deficiencies and that further enforcement
action may be taken. EPAs enforcement authority under the CWA to address VGP violations
and unauthorized discharges includes administrative orders, administrative penalties, and judicial
action.
F. Compliance Assistance/Outreach
EPA and the USCG will work together to develop and disseminate outreach materials to inform
the public of the existence of the VGP and its requirements, and to assist in compliance outreach.
The USCG and EPA intend to develop schedules and protocols for distribution of these materials
on board vessels, at ports, and through other means of outreach to the regulated community and
other members of the public.
EPA will make information on VGP compliance available to EPA and USCG inspectors and
enforcement officers and will also post information on the VGP on EPAs website (currently at
www.epa.gov/npdes/vessels). The USCG may post publicly available information on its website
and may develop links from its website to information on EPAs website.
EPA and the USCG agree that handling complex inquiries from the public through a single
repository will ensure national consistency on VGP interpretation and implementation. EPA has
established a general email box at commercialvesselpermit@epa.gov to provide a central address
for complex questions on the VGP. The Agencies agree to work together to develop a process to
streamline handling of public inquiries to provide responses as promptly and accurately as
possible. Initially, inquiries should be forwarded to this email box for development of a
response, unless the inquiry has been previously raised and a response already developed. The
USCG and EPA agree to work together to develop additional procedures, as needed, to handle
inquiries on the VGP or other NPDES requirements.
G. Support Agreements
EPA and the USCG may develop Support Agreements, as needed, to assist with implementation
of this MOU and accomplish tasks in accordance with this MOU. Support Agreements are
detailed agreements that are negotiated by the USCG and EPA to work on specific issues under
this MOU (Support Agreements). Support Agreements may contain specific roles,
responsibilities and time lines that further define the activities or aspects described in this MOU,
including sharing of information, compliance monitoring, compliance assistance, notification
procedures, data collection and handling, identifying and addressing deficiencies, facilitating
enforcement, and training. Support Agreements may provide additional guidance or protocols on
any aspect of this MOU. Support Agreements may also include interagency agreements,
contracts, and assistance agreements between USCG and EPA.
In addition to Headquarters Support Agreements, EPA Regions and USCG Districts may also
develop Support Agreements to establish coordination and assistance efforts.
Regional/District/Local Support Agreements must be approved at EPA at a level no lower than
the Branch Chief responsible for VGP compliance and enforcement in the appropriate region or
5

at Headquarters. For the USCG, Regional/District/Local Support Agreements must be approved

at a level no lower than the USCG Sector Commander.
The USCG and EPA will, where appropriate, reference this MOU in any Support Agreement,
amendments or letters of agreement that implement this MOU.
V.

DEFINITIONS

For purposes of this MOU, the following definitions apply. Terms not defined here shall have
the meaning provided in the VGP, 40 CFR Part 122, and the CWA.
Job Aid: A listing of items that may be examined as part of a VGP inspection.
Deficiency: A potential violation of the VGP.
Vessel General Permit (VGP): A permit issued by EPA pursuant to the CWA and 40 CFR
Section 122.28 that became effective on February 6, 2009 and any subsequent EPA permits that
modify, replace, or reissue that one.
VI.

LIMITATIONS

A. EPA and the USCG agree that this MOU does not affect their existing authorities under
any laws.
B. As required by the Anti Deficiency Act, 31 U.S.C. 1341 and 1342, all commitments
made by the USCG and EPA in this MOU are subject to the availability of appropriated funds
and each Agencys budget priorities. Nothing in this MOU, in and of itself, obligates EPA or the
USCG to expend appropriations or to enter into any contract, assistance agreement, interagency
agreement, Support Agreement, or other financial obligation. Furthermore, nothing in the MOU
exempts the Agencies from following their respective, as well as the other Agencys, policies
governing competition of assistance agreements or contracts. Except as otherwise agreed to in
advance in an interagency agreement (IA), the USCG and EPA agree not to submit a claim for
compensation for services rendered to each other or any other Federal agency for activities either
Agency undertakes in carrying out this MOU.
C. This MOU is neither a fiscal nor a funds obligation document. Any endeavor involving
transfers, reimbursement or contribution of funds between the Agencies related to this MOU will
be handled in accordance with applicable laws, regulations, and procedures and will be subject to
separate subsidiary agreements that will be effected in writing by representative of both
Agencies.
D. The cooperative measures set forth in this MOU are intended exclusively for the guidance
of Federal government personnel. These policies and procedures may be superseded, modified,
or terminated at any time without public notice. EPA and the USCG reserve the right to change
the terms of this MOU without prior public notice.

E. This MOU does not create any right or benefit, substantive or procedural, enforceable by
law or equity, by persons who are not party to this agreement, against the USCG or EPA, their
officers or employees, or any other person. This MOU does not direct or apply to any person
outside of EPA and the USCG.
F. Except as provided in Section VIII, Intellectual property, this MOU is not legally
binding.
VII.

PROPRIETARY AND CONFIDENTIAL INFORMATION

To carry out the joint work resulting from this MOU, the Agencies may need to disclose
proprietary or confidential information to one another. For the purpose of this MOU,
proprietary or confidential information is defined as information that an affected business
claims to be business confidential or that is otherwise requested to be protected under applicable
law and regulation. Effluent data is not proprietary or confidential information. Each of the
Agencies agrees to clearly identify in writing any proprietary or confidential information that
was initially disclosed verbally. The Agencies agree not to disclose or otherwise make available
in any form whatsoever to any other person, firm, corporation, partnership, association or other
entity information designated as proprietary or confidential information except as such
information that may be subject to disclosure under the Freedom of Information Act (5 USC
552) and EPA regulations at 40 CFR Part 2, or as otherwise authorized by law and regulation.
Decisions on disclosure of proprietary or confidential information to the public under the
Freedom of Information Act shall be made by the Agency to whom the information was
originally submitted, consistent with applicable regulations.
VIII. INTELLECTUAL PROPERTY
The USCG and EPA patent and intellectual property policies shall apply to any work performed
hereunder and appropriate patent and intellectual property provisions shall be included in any
agreement entered into in order to implement a Support Agreement accepted under this MOU.
Rights to inventions made by Federal employees shall be determined by the employees Agency.
Rights in inventions and other intellectual property of technology vendors and contractors,
subcontractors and cooperators shall be governed by provisions of their respective agreements
with the USCG or EPA.
IX.

DISPUTE RESOLUTION

It is the intent of the Agencies to resolve disagreements arising under this MOU or amendments
and/or revisions to it, at the lowest appropriate level. However, if the Agencies are unable to
resolve disagreements at the level of each partys point of contact, it is the Agencies intent to
state each Agencys position in writing and present it to the other Agencys Director or
equivalent level for consideration and/or resolution.
X.

EFFECTIVE DATE

This MOU is effective on the date of the last signature by the Agencies and shall remain
effective from the signature date unless terminated in accordance with the terms set forth herein.
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XI.

MODIFICATION

This MOU may be modified at any time upon mutual written consent of the Agencies. Upon
request by either Agency, Support Agreements will be reviewed by the appropriate headquarters
office responsible for enforcement, compliance assistance or compliance monitoring policy to
assure that they continue to reflect the appropriate understandings and procedures to provide for
current needs and capabilities to carry out the responsibilities and roles set forth in this MOU.
XII.

TERMINATION

Either Agency may terminate its participation in this MOU at any time by providing written
notice to the other Agency at least 90 days in advance of the desired termination date.
If termination occurs, work under any active Support Agreement will be completed in
accordance with the terms of the Support Agreement up to the end of the fiscal year in which the
termination occurs.
APPROVED BY:
For U.S. Coast Guard

For U.S. Environmental Protection Agency

By: ______________________________
Kevin S. Cook
RADM, U. S. Coast Guard
Director of Prevention Policy

By: ______________________________
Cynthia Giles
Assistant Administrator
Enforcement and Compliance Assurance

Date: _____________________________

Date: _____________________________

ATTACHMENT I
Contacts
The USCG and EPA contact offices are:
USCG:
For the USCG VGP Program Manager:
Commandant
United States Coast Guard
2100 Second Street, S.W. STOP 7581
Washington, DC 20593-7581
Office of Vessel Activities (CG-543)
Phone # (202) 372-1220 (direct)
Phone # (202) 372-1251 (main)
CG543@uscg.mil
EPA
For Compliance Monitoring, Compliance Assistance, and Data Issues:
United States Environmental Protection Agency
Water Branch
Monitoring, Assistance, and Media Programs Division
Office of Compliance (2223A)
1200 Pennsylvania Ave NW
Washington DC 20460
Phone # (202) 564-2300
For Enforcement Issues:
United States Environmental Protection Agency
Water Enforcement Division (2243A)
Office of Civil Enforcement
1200 Pennsylvania Ave NW
Washington DC 20460
Phone # (202) 564-2240

EPA Regional Offices - VGP Enforcement/ Compliance Contact List

Region 1 Boston (serving Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island,
and Vermont)

Office of Environmental Stewardship

EPA New England Headquarters
5 Post Office Square
Boston, MA 02109-3912
617-918-1850
Region 2 New York (serving New Jersey, New York, Puerto Rico, and the U.S. Virgin Islands)
Division of Enforcement and Compliance Assistance
EPA Regional Office
290 Broadway
New York, NY 10007-1866
212-637-4268
Region 3 Philadelphia (serving Delaware, District of Columbia, Maryland, Pennsylvania,
Virginia, and West Virginia)
Water Protection Division
EPA Region 3 Regional Office
1650 Arch Street
Philadelphia, PA 19103-2029
215- 814-2097
Region 4 Atlanta (serving Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina,
South Carolina, and Tennessee)
Water Protection Division
US EPA, Region 4
Sam Nunn Atlanta Federal Center
61 Forsyth Street, SW
Atlanta, GA 30303
404-562-9756
Region 5 Chicago (serving Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin)
Water Division
US EPA Region 5
Ralph Metcalfe Federal Building
77 West Jackson Blvd.
Chicago, IL 60604
312-886-0148
Region 6 Dallas (serving Arkansas, Louisiana, New Mexico, Oklahoma, and Texas)

10

Compliance Assistance and Enforcement Division

EPA Region 6 Main Office:
1445 Ross Avenue, Suite 1200
Dallas, Texas 75202
214-665-6579
Region 7 - Kansas City (serving Iowa, Kansas, Missouri, and Nebraska)
Water Enforcement
US EPA, Region 7
901 N 5th Street
Kansas City, KS 66101
913- 551-7354
Region 8 Denver (serving Colorado, Montana, North Dakota, South Dakota, Utah, and
Wyoming)
Office of Enforcement, Compliance and Environmental Justice
US EPA, Region 8
1595 Wynkoop Street
Denver, CO 80202-1129
303-312-6393
Region 9 - San Francisco (serving Arizona, California, Hawaii, Nevada, American Samoa,
Commonwealth of the Northern Mariana Islands, Federated States of Micronesia, Guam,
Marshall Islands, and Republic of Palau)
Water Division
U.S. EPA Region 9
75 Hawthorne Street
San Francisco, CA, 94105
415-972-357
Region 10 Seattle (serving Alaska, Idaho, Oregon, and Washington)
Office of Compliance and Enforcement
U.S. EPA, Region 10
1200 Sixth Avenue, Suite 900
Seattle, WA 98101
206-553-1146

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Subj: GUIDELINES FOR ENSURING COMPLIANCE WITH

THE U.S EPAS VGP

16711/
CG-543 Policy Letter
11-01

c. The VGP applies to discharges incidental to the normal operation of all non-recreational
vessels of 79 feet or greater in length. In addition, the ballast water discharge provisions
also apply to any non-recreational vessel of less than 79 feet or commercial fishing vessel
of any size discharging ballast water.
d. The VGP covers 26 different types of discharges, many of which have not previously
been covered by U.S. regulations. For ballast water discharges, the VGP incorporates the
Coast Guards mandatory ballast water management standards and has several additional
mandatory management requirements. The VGP also has additional requirements for
eight vessel types such as large and medium-sized cruise vessels and oil tankers. Under
the CWA, discharges of pollutants from vessels that are not covered by the VGP are
unlawful unless they are separately covered under another CWA permit or are exempt
from permitting requirements (for example, sewage from vessels, incidental discharges
from a vessel of the armed forces, or discharges in compliance with the instructions of a
federal on-scene coordinator).
e. The VGP requires vessel owners/operators to perform training, inspections, monitoring,
and reporting, and take assessments and corrective actions as necessary. It also requires
vessel owners or operators to submit a Notice of Intent (NOI) to receive permit coverage
and submit a one-time permit report between 30 and 36 months after obtaining permit
coverage.
f. The EPA has posted electronic copies of the VGP and other related information,
including VGP Fact Sheets, on the EPAs NPDES Vessel Discharges webpage at
www.epa.gov/npdes/vessels.
5. Discussion.
a. The VGP is an EPA permitting program under the CWA. The EPA developed and
manages the VGP, and has the primary federal responsibility for enforcing its provisions.
The Coast Guards role up to this point of time has been focused on education and
outreach.
b. Noting that since the provisions provided in the VGP require vessel operators to utilize
best practices in the management of shipboard discharges incidental to the normal
operation of the vessel in order to protect the marine environment, the Coast Guard
shares a mutual interest in ensuring vessels comply with VGP provisions. Therefore, in
fulfilling its role as the nations lead maritime law enforcement agency and to carry out
its mission of environmental stewardship, it is in the interest of the Coast Guard to assist
the EPA in the detection and reporting of VGP deficiencies onboard vessels.
c. To facilitate this mutual interest, the Coast Guard and the EPA have signed a
Memorandum of Understanding (MOU) regarding matters related to the VGP
(USCG/EPA VGP MOU).

Subj: GUIDELINES FOR ENSURING COMPLIANCE WITH

THE U.S EPAS VGP

16711/
CG-543 Policy Letter
11-01

d. The USCG/EPA VGP MOU established cooperative relationships, roles and

responsibilities between the Coast Guard and the EPA in the implementation of the VGP
compliance and enforcement. It established that Coast Guard and EPA cooperation in
sharing information, expertise, and technical assistance for VGP implementation reduces
redundancy in government oversight of vessel activities and increases the effectiveness of
each Agencys ability to accomplish its mission to enhance environmental protection.
e. Under the USCG/EPA VGP MOU, the Coast Guards main role will be to assist the EPA
with examining compliance with basic provisions of the VGP 1 during routine inspections
onboard U.S. vessels and during Port State Control exams on foreign vessels. The Coast
Guard will report detected VGP deficiencies to the EPA. The EPA retains full
responsibility and enforcement authority under the CWA to address VGP violations and
unauthorized discharges, which includes issuance of administrative orders, administrative
penalties, and judicial action. Additional assistance and cooperation between the Coast
Guard and EPA may be established through support agreements under the MOU.
f. This policy has been developed by the Coast Guard, in consultation with the EPA, to
assist Coast Guard staff in the preparation for and the execution of VGP compliance
monitoring inspections and exams. Vessel owners and/or operators are responsible for
compliance with all aspects of the VGP and any other CWA requirements. Vessels may
be subject to inspection to verify compliance with any and all legal requirements. The
inspection guidelines (VGP Job Aid) provided in enclosure (1) represent the minimum
items that the Marine Inspectors (MI) and PSC Officers should examine during VGP
compliance exams. The MI/PSC Officers are not limited in the depth and scope of the
examination. The Coast Guard and EPA may assess program execution and shipboard
performance and adjust the VGP Job Aid as appropriate.
g. Implementation of VGP compliance exams and follow-up activities during routine vessel
inspections and Port State Control exams will require additional time to complete vessel
inspections and exams. However, as the VGP compliance component of an inspection
and exam is incorporated and consistent with normal Coast Guard vessel exam
procedures and routines, we expect this additional effort to be manageable.
6. Procedure.
a. Implementation. Effective 30 days after the promulgation of this policy, Sector
Commanders / OCMIs staff should use the VGP Job Aid provided in enclosure (1) in the
implementation and execution of Coast Guard VGP compliance activities during routine
vessel inspections and Port State Control exams. In the period prior to this
implementation date, Coast Guard MIs and PSC Officers must continue education and
outreach efforts to the marine industry and communicate the upcoming VGP verification
1

The Coast Guard will not check vessel compliance with the State and Indian Country Lands specific requirements
contained in Section 6 of the VGP.

Subj: GUIDELINES FOR ENSURING COMPLIANCE WITH

THE U.S EPAS VGP

16711/
CG-543 Policy Letter
11-01

exams under this policy and the VGP Job Aid.

b. VGP Deficiencies. MI/PSC Officers must take the following action upon discovering
any VGP deficiencies as guided by the VGP Job Aid provided in enclosure (1) as well as
any other observed VGP deficiencies:
i. Encourage vessel operators to correct VGP deficiencies by the conclusion of the
vessel inspection / PSC exam, if feasible, i.e. corrected on the spot.
ii. Inform the vessels master/person-in-charge of all detected deficiencies, including
those corrected on the spot, and record the findings using routine deficiency
reporting documents, such as the CG-835 or PSC Form B, as appropriate.
iii. Inform the vessels master/person-in-charge that the Coast Guard will report the VGP
related deficiencies to the EPA, as well as any actions by the vessel taken or planned
to address them, and that EPAs enforcement authority under the CWA to address
VGP violations and unauthorized discharges includes administrative orders,
administrative penalties, and judicial action.
c. MISLE - Documenting and Reporting. As soon as practicable, but in all cases not later
than close of business the following day of the exam, the MI/PSC Officers should enter
the VGP related deficiency in the Coast Guards MISLE database under the associated
inspection activities Inspection Results:
i. VGP deficiencies are found under the System Operations/Management, Subsystem
EPA Vessel General Permit and associated Components by VGP reference/cite.
ii. When entering VGP deficiencies, the MI/PSC Officer should ensure that the
following information is provided within the Details block:
(1) MI/PSC Boarding Officers name, phone number and e-mail.
(2) MI/PSC Boarding Officers units name and state.
(3) A brief description regarding the VGP deficiency, including a description of the
MI/PSC Officers observations and findings, if the vessel corrected the deficiency
by the conclusion of the exam, and description of any documentary evidence or
pictures obtained or viewed.
(4) In cases where VGP deficiencies are also deficiencies under Coast Guard
regulations, as discussed in section 6.d below, provide a brief statement that
indicates any concurrent Coast Guard enforcement action and what steps, if any,
the Coast Guard has taken to address the deficiency. For example, if a ship fails
to maintain ballast water records under Coast Guard regulations in 33 CFR part

Subj: GUIDELINES FOR ENSURING COMPLIANCE WITH

THE U.S EPAS VGP

16711/
CG-543 Policy Letter
11-01

151, this is also a VGP deficiency under VGP section 2.2.3. If the Coast Guard
takes enforcement action, then that action should be described i.e. the Coast
Guard issued a requirement for the vessel to maintain ballast water records in
accordance with the operative section of 33 CFR part 151.
iii. Under the Requirement/Resolution section, enter the following:
(1) Due Date: select the date of the VGP verification exam and select To the
satisfaction of the certificate issuing authority option.
(2) If the VGP deficiency was resolved or corrected by the conclusion of the vessel
exam:
(a) Place a check-mark in the Resolved/Corrected block.
(b) Select the date of the VGP verification exam.
(c) Enter the details of the resolution in the Resolution block.
iv. No further reporting action is necessary, but MI/PSC Officers must make themselves
available to assist the EPA with additional information and supporting documentation
upon request by the EPA.
d. Coast Guard Pollution Prevention Regulations. The USCG/EPA VGP MOU does not
affect the Coast Guards existing authorities under any laws. Therefore, in cases where
VGP deficiencies are also deficiencies under Coast Guard regulations, such as ballast
water and oil pollution prevention regulations, MI/PSC Officers must report the VGP
deficiency to the EPA as discussed above, as well as concurrently process the deficiency
under applicable Coast Guard regulations and enforcement policy. As discussed in
section 6.b.iii above, EPAs enforcement authority under the CWA to address VGP
violations and unauthorized discharges includes administrative orders, administrative
penalties, and judicial action.
7. Disclaimer. While the guidance contained in this document may assist the industry, public,
Coast Guard, and other Federal and State regulators in applying statutory and regulatory
requirements, the guidance is not a substitute for applicable legal requirements nor is it a
regulation itself. It is not intended to nor does it impose legally binding requirements on any
party. This guidance does not create any right or benefit, substantive or procedural,
enforceable by law or equity, by any person against the Coast Guard, EPA, their officers or
employees, or any other person. This guidance may be superseded, modified, or terminated
at any time without prior notice.
8. Additional Information and Changes.
a. This policy, the USCG/EPA VGP MOU, and additional information pertaining to the
VGP including links to the EPAs VGP web page is available on the Coast Guards VGP
information page on Homeport at http://homeport.uscg.mil by selecting the following

Subj: GUIDELINES FOR ENSURING COMPLIANCE WITH

THE U.S EPAS VGP

16711/
CG-543 Policy Letter
11-01

tabs: Missions > Domestic Vessels > Domestic Vessels General > EPA Vessel General
Permit (VGP).
b. Interested parties may suggest improvements to this policy by writing to the Coast
Guards VGP Program Manager listed under Contact Information on the VGP
information page on Homeport or via e-mail at CG543@uscg.mil.
#
Enclosures:

(1) Coast Guard VGP Job Aid

Distribution:

All Area/District (p) offices

All Sectors/MSUs/MSDs

Enclosure (1) to CG-543 Policy Letter 11-01

EPA Vessel General Permit (VGP) - USCG Job Aid

This enclosure is intended to be used as a Job Aid by Coast Guard Marine Inspectors (MI) and Port State Control (PSC) Officers
during inspections of U.S. flag vessels and during PSC examinations to assist in verifying that a vessel is in compliance with the
specified EPA VGP. This Job Aid contains a list of minimum items that MI and PSC Officers should examine. The depth and scope
of the examination must be determined by the MI and PSC Officers based on the condition of the vessel, operation of its systems, and
the competency of the vessels crew.
The EPA VGP addresses many of the same water pollution prevention items that the Coast Guard currently examines during vessel
compliance examinations. This Job Aid addresses the key or first tier inspection items currently not covered by Coast Guard vessel
inspection regulations or policy. Coast Guard personnel will perform these checks in addition to the current pollution prevention
inspections/examinations covered in the applicable CG-840 books.
All deficiencies, even if corrected while onboard, shall be documented within MISLE as discussed in Section 6 of the cover letter to
this policy. MISLE documentation will then be sent to the EPA via generated CGBI Cube reports.
Note: Citations to the VGP sections are given as references for the specific requirements and legal authorities.

Enclosure (1) to CG-543 Policy Letter 11-01

Record Keeping
VGP Requirement

Cite

Finding

Action

Are the vessel master and senior

crew aware of the VGP?

Vessel General Permit

Yes

No action required.

No

Inform the master/crew that they

must obtain and read the VGP.

If the vessel is greater than or equal

to 300 gross tons or has the
capacity to hold or discharge 8
cubic meters (2113 gallons) of
ballast water, has the vessel
submitted a Notice of Intent
(NOI)?

VGP Part 1.5.1.1; Part 10

- Appendix E Notice of
Intent (NOI)

Yes
No

Comment

Provide the master/crew with a

copy of the EPA VGP Fact Sheet.
No action required.
Advise the master/crew they
must submit an NOI to EPA.
Provide the master/crew with a
copy of the EPA VGP Fact Sheet.

The EPA has posted all

vessel NOIs submitted by
vessel owners and operators.
You can use this public EPA
web page to search, sort, and
view these NOIs:
http://cfpub.epa.gov/npdes/v
essels/vesselsnoisearch.cfm.
EPA strongly encourages
vessel owners to prepare and
submit the NOI using EPAs
Electronic Notice of Intent
(eNOI) system:
www.epa.gov/npdes/vessels/
eNOI/.

Record of routine visual

inspections

VGP Parts 4.1.1, 4.1.1.1,

and 4.2, #4

Yes

No action required.

Enclosure (1) to CG-543 Policy Letter 11-01

VGP Requirement

Record of annual inspections

(effective after December 19,
2010).

Cite

Finding

Action

Comment

VGP Parts 4.1.3 and 4.2,

#6

No

Advise the master/crew they

must complete visual inspections
at least once per week or per
voyage, whichever is more
frequent; unless they engage in
multiple voyages per day, in
which case a daily inspection is
required. They must also have a
comprehensive inspection
annually and record all results in
the vessels recordkeeping
documentation. Additionally, a
drydock report is required per
section 4.1.4 of the VGP.

The VGP section on

recordkeeping is about 1
page and may be appended /
inserted within routine
vessel logbooks.
If records are not on the
vessel, advise that they must
be on the vessel or
accessible by the vessel
(unalterable electronic
records from a central
exchange).

Yes
No

No action required.
Advise the master/crew they
must conduct a corrective action
assessment including a
description of identified
deficiencies, an explanation of
the cause and the corrective
action to be taken and a schedule
to complete such action.

Yes
No

No action required.
Advise the master/crew that they
must have a Ballast Water

VGP Part 4.1.4

Record of VGP drydock inspection

if last drydocking was conducted
after Feb. 6, 2009.

Documentation of Corrective
Action Assessments: does the
vessel maintain records of
completed actions

VGP Parts 3, 4.2 para. 3,

Ballast Water Management Plans:

VGP Parts 2.2.3.2, 4.3

For vessels with ballast water

If records are not on the

vessel advise that they must
be on the vessel.

The vessel may demonstrate

compliance using the Ballast

Enclosure (1) to CG-543 Policy Letter 11-01

VGP Requirement

Cite

Finding

tanks, plan adequately lays out a

ballast water management strategy
specifically for the vessel.
Plan must be in accordance with 33
C.F.R. 151 and section 4.3 of the
VGP.

Ballast Water Records:

If applicable, has the vessel
maintained records of conducting
ballast water exchange, near shore
ballast water exchange, and
saltwater flushing?

Action

Comment

Management Plan which lays out

the ballast water management
strategy and and which complies
with section 4.3 of the VGP.
Personnel who actively take part
in the management of ballast
discharge must understand and
follow the plan.

Water Management Plan

required in 33 CFR
151.2035.

VGP Parts 2.2.3.5, 2.2.3.6, Yes

2.2.3.7, 2.2.3.8, and
No
2.2.3.9

No action required.
Advise the master/crew that they
must maintain records of
conducting ballast water
exchanges and saltwater flushing.

VGP Part 2.2.2; 4.2, #8

No action required

For those vessels which

periodically enter as NOBOBs, and
which do not report salt water
flushing to the NBIC, they must
have records of salt water flushing
onboard.

Bilgewater Discharges:

Yes

Violation of VGP is also

violation of Coast Guard
Ballast Water requirements
found in 33 CFR 151
Subpart D.
Note under 33 CFR Part 151,
the vessel must conduct
ballast water exchange (if
carrying ballast) or saltwater
flushing (if NOBOB) if it
comes from outside 200 nm
from shore, is engaged in
Pacific near shore voyages
(sail through more than one
COTP zone and travel 50 nm
from shore) or enters the
Great Lakes from outside the
US EEZ.

Enclosure (1) to CG-543 Policy Letter 11-01

VGP Requirement
If the vessel measures 150 GT or
more (tank vessels) or measures
400 GT or more (other vessels), is
it maintaining records of its bilge
water discharges?
If the vessel measures 150 GT or
more (tank vessels) or measures
400 GT or more (other vessels),
and regularly sails outside the
territorial sea, is it not discharging
within 1 nm of shore or within
National Parks, Marine
Sanctuaries, etc., listed in Part 12
of the VGP?

Cite

Finding

Action

and #9; 12

No records

Advise the master/crew to begin

maintaining records.

No,
discharging
within
1 nm of
shore or
within
waters listed
in VGP Part
12.

Advise the master/crew that if

technologically feasible or if not
necessary to maintain the safety
and stability of the ship, to hold
bilgewater onboard or discharge
to a shore side facility.

Comment
Violation of VGP is also
violation of Coast Guard Oil
Pollution Prevention
requirements found in 33
CFR 151 Subpart A.

Enclosure (1) to CG-543 Policy Letter 11-01

Deck/Topside Walk
VGP Requirement

Cite

Finding

Action

Is the state of deck and work areas

housekeeping adequate?

VGP Parts 2.1 and 2.2.1

Yes

No action required.

No

Advise the master/crew that they

must maintain proper
housekeeping onboard the vessel
- contain garbage, secure
containers in proper storage,
prevent oil and fuel spills, and
use containers or rails to contain
oil.

Comment

Deck is free of clutter, garbage,

fuel/oil spills?
Are spill rails and drip pans in
place and utilized?
Evidence of poor
housekeeping can trigger
need to look for other areas
of lack of good practice.

Large and Medium Cruise Vessels

Large Cruise Ships are that provide overnight accommodations (has onboard sleeping facilities) to passengers authorized to carry
500 people or more for hire. VGP 5.1. Medium Cruise Ships are vessels that provide overnight accommodations (have onboard
sleeping facilities) to passengers authorized to carry between 100-499 people for hire. VGP 5.2
VGP Requirement
For untreated graywater:

Cite
VGP Parts 5.1.2.1 and

Finding
Yes

Action
No action required.

Comment

Enclosure (1) to CG-543 Policy Letter 11-01

VGP Requirement

Cite
5.2.2.1

Finding
No

Action
Advise the master/crew
that they must maintain
records of estimating
discharges of untreated
graywater including date,
location, volume, and
vessel speed.

VGP Parts 5.1.1.1.1 and

5.2.1.1.1

Yes

No action required.

Does the vessel have

records estimating
discharges of untreated
graywater including date
location and volume, speed
of vessel?
For untreated graywater:

Comment

For large and medium

cruise vessels which sail
outside 1 nm, was
graywater only discharged
outside 1 nm while sailing
at least 6 knots or outside 3
nm (regardless of speed)
and not in nutrient
impaired waters such as

Enclosure (1) to CG-543 Policy Letter 11-01

VGP Requirement
the Chesapeake Bay?

For treated graywater:

Cite

Finding
No

Action
Advise the master/crew
that graywater must be
treated or discharged
consistent with Parts 5.1
and 5.2 of the VGP.

Yes

No action needed.

Comment

Enclosure (1) to CG-543 Policy Letter 11-01

VGP Requirement
For large and medium
cruise vessels, did the
vessel maintain records of
date, location and volume
of treated graywater
discharged?
Did the vessel conduct
monitoring and assure that
graywater discharged is
below limits in Part
5.1.1.1.2 or 5.2.1.1.2 of the
VGP, as applicable?

For treated graywater:

Cite

Finding
No

Action
Advise the master/crew
that they must maintain
records of date, location
and volume of treated
graywater. If they are
discharging treated
graywater in waters of the
US; remind them they
must conduct monitoring.
Monitoring records must
also include who did the
analysis, date and results.
The vessel must maintain
one sample per quarter
(four per year) and records
of the sampling and testing
results must be retained
onboard for a period of 3
years in the vessels
recordkeeping
documentation

Yes

No action needed.

VGP Parts
Large cruise vessels:
5.1.1.1, 5.1.2.2, and
5.1.2.2.5.
Medium cruise vessels:
5.2.1.1.1, 5.1.2.2., and
5.2.2.2.5.

Comment

Enclosure (1) to CG-543 Policy Letter 11-01

VGP Requirement

Cite

If swimming pools or spas

are on board large or
medium cruise vessels and
the pool or spa water is
discharged into the
territorial sea:

Large cruise vessels:

VGP 5.1.2.3

Is there a record onboard

of the testing of swimming
pool water before
discharge to assure it meets
limits of 50 micrograms
per liter for brominated
discharge and 10 ug/L for
Chlorine?

Medium cruise vessels:

5.2.2.3

Finding
No

Action
Advise the master/crew
that there must be a record
of testing of swimming
pool water before
discharge to assure it
meets limits of 50
micrograms per liter for
brominated discharge and
10 ug/L for Chlorine.

Comment
Swimming pool discharges
are unlikely; however the
inspector should check
records to ensure that any
such discharges, if they
exist, comply with the
VGP.

Is there a record of the

location of the discharge,
the estimated volume of
the discharge, and the
concentration of chlorine
or bromine (as applicable)?

10